Amy Beauchene

MMA SECURITIES

Avon, CT

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CRD#: 2622374

Professional summary

Amy Beauchene, who also goes by Amy Sue Beauchene, Amy B Humphrey, is a registered financial advisor currently at MMA SECURITIES LLC located in Avon, Connecticut.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Amy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Sue Beauchene | Amy B Humphrey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Beauchene's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Amy Beauchene's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 31, 2026 - Present

MMA SECURITIES LLC

RIA

CRD#: 44254

Avon, CT

Current

March 31, 2026 - Present

MMA SECURITIES LLC

Office #1: 101 Huntington Ave Suite 401, Boston, MA 02199

RIA

CRD#: 44254

Boston, MA

Past

June 21, 2021 - June 17, 2025

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

Otis, MA

Past

June 21, 2021 - June 17, 2025

MISSIONSQUARE WEALTH MANAGEMENT

CRD#: 23189

WASHINGTON, DC

Past

April 14, 2021 - June 21, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

ENFIELD, CT

Past

April 13, 2021 - June 21, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

ENFIELD, CT

Past

December 18, 2018 - December 19, 2019

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

September 11, 2018 - December 19, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

CANTON, CT

Past

January 2, 2013 - August 23, 2018

MML DISTRIBUTORS, LLC

CRD#: 38030

Canton, CT

Past

January 1, 2009 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

September 14, 2000 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

June 15, 1995 - December 20, 1999

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(3/31/2026)

IAR

Connecticut
(3/31/2026)

Massachusetts
(3/31/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/30/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2016

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/4/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MMA SECURITIES LLC

CRD#: 44254 / SEC#: 801-100377, 8-50591

RIA

Registered Investment Advisory firm - SEC (7/7/2015 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/23/2013 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/2/2013 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

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Contact information

Main Address

1166 Avenue Of The Americas, New York, NY 10036

Mailing Address

1166 Avenue Of The Americas, New York, NY 10036

Phone number

(917) 625-4069

Established

New Jersey since 02/03/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

179

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MMAS PERSONALIZED ADVISORY SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS RETIREMENT PLAN SERVICES FIRM BROCHURE 03.2025 (3/27/2025)

MMAS PROSPER WISE FIRM BROCHURE 03.2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
MARSH INSURANCE & INVESTMENTS LLC	OWNER
BARTKUS, BRIAN EDWARD	SENIOR SUPERVISORY PRINCIPAL	2827119
BLACKMORE, KIMBERLY LYNN	FINOP, CFO, PFO, POO, AND DIRECTOR	2219307
REID, CRAIG J	PRESIDENT, DIRECTOR	6280558
WEINSTOCK, JUDITH ANN	CHIEF COMPLIANCE OFFICER, CHIEF COUNSEL AND DIRECTOR	8096565

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Amy Beauchene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Beauchene's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Amy Beauchene's CRS (Customer Relationship Summary).

Certified licenses

Experience

MMA SECURITIES LLC

MMA SECURITIES LLC

MISSIONSQUARE RETIREMENT

MISSIONSQUARE WEALTH MANAGEMENT

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

MML DISTRIBUTORS, LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

MMA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2018

Series 63

Date: 1/30/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2015

Series 6

Date: 6/14/1995

Series 24

Date: 10/13/2016

Series 26

Date: 9/4/1997

FINRA

Current Firm

MMA SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MMA SECURITIES LLC

TRUST BUT VERIFY

Contact information

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